Compliance

• Develop and lead Casepoint’s enterprise Governance & Compliance strategy, ensuring scalable governance practices that support business growth and customer trust.
• Own enterprise privacy, compliance, AI governance, information governance, and corporate policy programs.
• Establish governance frameworks for emerging technologies, including responsible AI, data governance, and regulatory compliance.
• Partner with Executive Leadership to proactively identify, assess, and manage regulatory, contractual, operational, and technology-related risks.
• Provide executive oversight of the contracts function by partnering with the Director of Government Contracts on strategy, governance, risk management, and operational priorities.
• Collaborate with Sales, Product, Finance, Security, Legal, Engineering, and Customer Success to enable growth while balancing business objectives with appropriate governance.
• Develop executive reporting, governance metrics, and compliance dashboards to support informed decision-making.
• Drive continuous improvement through scalable processes, automation, and technology-enabled governance solutions.
• Monitor evolving regulatory requirements and industry best practices, recommending proactive enhancements to governance programs.

VP, Governance and Compliance

• Manage the payroll compensation compliance reporting process at UW-Madison
• Ensure commitments to sponsors were met
• Ensure that grants were not overcharged
• Ensure completion of provisions of certification and training in accordance with UW-Madison compensation compliance policy and procedures
• Work closely with campus constituents and external partners
• Develop, implement, and evaluate policies and procedures related to compliance with regulations
• Support UW-Madison's technical system needs related to effort management
• Serve as a key resource to campus regarding research administration compliance areas

Compliance Manager

• Audit high risk reimbursement issues for both professional and facility billing across all of UW Health (Madison, Northern Illinois, and joint ventures).
• Utilize in depth knowledge of CPT/ICD10 coding to assess, research, educate, and problem solve complex issues/questions.
• Work with key stakeholders across the organization on projects and actively participate in meetings/workgroups.
• Ability to be proficient in data analytics programs, systems, and databases to identify risks and track audit findings.
• Responsible for compliance audits of billing providers and facilities

Compliance Analyst

• Oversee accreditation, compliance, policies, and strategic improvement operations relevant to the education mission of the school
• Develop and oversee effective processes and work flows to ensure full compliance for accreditation for all SMPH professional degree programs
• Collaborate with educational faculty, program staff, and administrative leaders to ensure adherence to accreditation standards
• Draft, review, and update education program policies and affiliation agreements as required
• Direct strategic planning initiatives and create unit objectives and goals to ensure compliance with established rules and regulations
• Develop and audit the unit budget and compliance reports in accordance with established rules and regulations

Director of Education Accreditation, Compliance

• Serve as the primary compliance resource for assigned facilities and regional leadership teams.
• Provide guidance on regulatory, compliance, ethics, and privacy matters while identifying practical solutions that support organizational objectives.
• Foster a culture of ethical decision-making, accountability, and compliance throughout the region.
• Build trusted relationships with administrators, CEOs, physicians, and facility leadership to promote effective compliance oversight.
• Implement ongoing execution of Tenet's Ethics, Compliance, and Privacy Program within assigned facilities.
• Ensure adherence to the Quality, Compliance, and Ethics Charter and applicable federal and state healthcare regulations.
• Drive regional compliance initiatives, work plans, monitoring activities, and risk mitigation strategies.
• Support the delivery of compliance, ethics, privacy, and security education programs for employees, contractors, and physicians.
• Partner with leadership and subject matter experts to identify, assess, and mitigate compliance risks.
• Lead and participate in Compliance Committee and Board meetings, presenting compliance trends, risks, and mitigation strategies.

Compliance Officer, USPI Midwest Territory

• Perform detailed review of customs entries, filings, and supporting documentation for accuracy and completeness
• Apply regulatory requirements to transactions, partnering with the Supervisor and leadership team on interpretation and execution decisions for complex or high-risk scenarios
• Maintain required documentation and records following compliance standards
• Resolve discrepancies, data issues, and documentation gaps
• Work through established channels with brokers and team members to correct transactional errors
• Escalate systemic issues, repeated errors, or time-sensitive risks to the Supervisor
• Prepare and build PSC and protest filings observing defined processes
• Track assigned filings against deadlines and flag risks to ensure timely submission
• Support identification and documentation of eligible IEEPA responsibility recovery opportunities
• Ensure supporting data and documentation are complete and audit-ready
• Complete compliance tasks transitioning into NATM based on defined procedures
• Support stabilization of processes by following documented workflows and identifying inconsistencies
• Support responsibility drawback activities, including data collection, validation, and documentation
• Help with CTPAT-related tasks, including documentation maintenance and compliance support activities
• Be an important knowledge resource, supporting application of regulatory requirements
• Identify opportunities where AI and automation can improve transactional efficiency, data validation, and compliance accuracy
• Support broader compliance modernization efforts through practical use-case
• Collaborate partner to support compliance projects and issue resolutions
• Maintain flexibility to adjust focus in response to time-sensitive compliance requirements

Senior Import/Export Compliance Specialist

• Establish and lead an enterprise-wide pharmacy compliance and risk management program aligned with organizational objectives and regulatory requirements
• Serve as the senior compliance advisor to executive leadership on pharmacy regulatory matters, compliance risks, and emerging regulatory trends
• Develop and execute a long-term compliance strategy that supports business growth while maintaining regulatory excellence
• Promote a culture of ethics, integrity, accountability, and compliance across the organization
• Ensure compliance with applicable federal and state laws and regulations, including HIPAA, HITECH, Medicare Part D, Medicaid, state pharmacy regulations, and other healthcare regulatory requirements
• Oversee pharmacy licensing, accreditation, certification, and regulatory reporting activities
• Lead responses to regulatory audits, inspections, investigations, complaints, and inquiries from government agencies and pharmacy boards
• Direct enterprise pharmacy compliance risk assessments and develop risk mitigation strategies
• Identify and proactively address areas of regulatory risk, including drug diversion, fraud, waste and abuse, privacy, data security, and operational compliance
• Oversee compliance monitoring, auditing, and reporting programs to assess effectiveness and identify opportunities for improvement
• Partner with clinical, operations, product, technology, and legal teams to embed compliance requirements into business processes and product development
• Advise leadership on regulatory implications associated with strategic initiatives, new products, partnerships, and expansion opportunities
• Lead, mentor, and develop a high-performing compliance organization

VP, Risk and Pharmacy Compliance

• Provide guidance and direction to local management and personnel on occupational safety, industrial hygiene, and other health & safety issues.
• Participate in change management processes and process hazard analyses to identify health & safety issues and opportunities.
• Identify action-based goals for local leadership team members to support achievement of targets and objectives.
• Take the lead in incident investigations, root cause analysis, and action item completion.
• Complete/close out items as assigned.
• Assist with implementation of the industrial hygiene program, including identification of job tasks requiring sampling as needed.
• Develop and periodically review site procedures relating to vehicle maintenance, rail transfer, tank cleaning, depot services, and chemical transportation operations.
• Conduct site inspections, compliance audits, and management systems audits.
• Develop and update emergency action plans for all facilities in the assigned region.
• Provide content for site-specific training programs and conduct training as necessary.
• Provide content for safety meetings and tool-box topics.
• Conduct webinars with field leadership and personnel as required.
• Assist in designing programs to control, eliminate and prevent disease or injury.
• Develop and/or provide training on new regulations affecting operations.
• Assist facilities with the preparation of annual management system audits and compliance inspections.

Manager – OSHA Compliance

• Serve as an independent compliance and risk oversight function for Treasury operations.
• Assess the design and effectiveness of Treasury controls to ensure compliance with internal policies, regulatory requirements, and industry standards.
• Develop, maintain, and execute Treasury risk assessments and control reviews.
• Identify, assess, and escalate compliance, regulatory, operational, and reputational risks.
• Monitor adherence to Treasury policies, procedures, and governance requirements.
• Support compliance reporting and management reporting activities.
• Promote a culture of compliance, accountability, and continuous improvement throughout the organization.
• Perform periodic user entitlement reviews for all banking platforms and financial institution relationships.
• Process user access setup, modifications, and terminations in accordance with established controls and approval requirements.
• Conduct authorized signer reviews and maintain signer governance documentation.
• Review fraud prevention services and banking controls to ensure ongoing effectiveness.
• Evaluate Treasury processes and recommend enhancements to strengthen controls and mitigate risk.
• Stay informed of banking system changes, regulatory developments, emerging risks, and industry trends impacting Treasury operations.
• Manage and respond to inquiries received through the Treasury Compliance mailbox.
• Process and monitor statutory deposit activities to ensure regulatory compliance.
• Perform positive pay exception reviews and ensure timely resolution of exceptions.
• Complete check copy requests and maintain appropriate supporting documentation.
• Process affidavits and related banking documentation in accordance with policy requirements.
• Prepare, analyze, and distribute compliance and risk-related reports.
• Maintain accurate records and documentation supporting Treasury compliance activities.
• Identify opportunities to improve Treasury processes, controls, reporting, and operational efficiencies.
• Support implementation of new systems, banking services, and process changes by assessing associated risks and control requirements.
• Assist with remediation efforts related to audit findings, compliance reviews, and control gaps.
• Participate in special projects and initiatives that strengthen Treasury governance and risk management practices.

Treasury Compliance Analyst

• Serve as a technical resource for qualified retirement plan compliance.
• Help colleagues and clients understand plan rules, regulations, amendments, corrections, and complex eligibility issues.
• Partner with retirement plan, audit, and compliance teams to support risk management.
• Address operational issues and help ensure plan administration aligns with ERISA and Department of Labor requirements.
• Research regulatory and compliance topics and share findings with compliance leadership and colleagues.
• Review plan amendments for accuracy and potential unintended consequences.
• Support the resolution of operational defects by reviewing correction calculations and authorizing corrections.
• Assist with compliance testing, including general nondiscrimination and average benefit percentage testing.
• Prepare and present standard compliance reports and assist with IRS and Department of Labor filings.

ERISA and Compliance Officer

• Manage the day-to-day technical aspects of the established compliance program
• Administration of the compliance training program
• Supervision of the compliance process review program
• Work closely with employees of each business unit to foster a team approach to managing compliance risk
• Complete risk assessments and serve as a compliance resource on projects during the implementation of new products, processes, and services
• Facilitate, maintain, and enhance a comprehensive, risk-based compliance training program
• Manage the Bank’s engagements of third party compliance consultants and auditors
• Provide oversight of engagement results
• Plan and conduct compliance reviews within established timeframes
• Prepare working papers and detailed reporting of findings and recommendations
• Ensure corrective action is taken
• Submit monthly compliance department updates
• Provide technical expertise in analysis of corporate compliance risk
• Monitor new and pending changes to laws, regulations, and regulatory guidance documents

Compliance Officer III

• The Product Compliance Specialist leads the coordination and implementation of regulatory and bureau changes
• Ensure compliance while supporting complex rate, rule, and form updates
• Maintain filing accuracy across designated lines of business.
• Work independently to coordinate, communicate and monitor regulatory changes to designated lines of business.
• Monitor, coordinate, implement and communicate Rate Service Organization (ISO, NCCI, AAIS, etc.) revisions.
• Participate in line of business rate reviews and provide requirements for more complex bureau rate/rule/form adoptions.
• Input, reformat, maintain, produce and revise current forms as needed and maintain insurance form files.
• Maintain bureau manuals and internal lines manuals.
• Prepare PDF and markup copies of documents requiring filing.
• Responsible for the compliance of company forms, procedures and rating programs within state statutes and regulations.
• Complete rate/rule & form filings with state insurance departments.
• Navigate & research systems for new product implementation as well as for defects & incidents.

Senior Product Compliance Specialist

• Support the Energy division within U.S. Venture
• Communicate with internal and external business partners to complete compliance activities
• Compile the registration, reporting, and audit obligations of regulatory agencies
• Prepare renewable instrument transaction processes
• Develop relationships with industry counterparts to stay updated on regulatory changes
• Understand the regulatory framework and evaluate areas of risk
• Coordinate with Operations specific to day-to-day functions
• Identify potential problems and actively resolve
• Attend training and development opportunities
• Champion continuous improvement and quality control efforts

Energy Compliance Analyst

• Own the strategic design and continuous evolution of risk frameworks, the risk registry, and executive risk narratives for Community Support.
• Ensure that investigative outcomes are contextualized within the broader risk ecosystem — informing risk appetite decisions, shaping detection strategy, and driving remediation accountability.
• Serve as the program manager for systemic root cause resolution — ensuring that when investigations, incidents, or risk assessments reveal structural vulnerabilities, those root causes do not languish in a findings log but are tracked, assigned, resourced, and driven to completion across the organization.
• Serve as a risk steward for AI systems that touch Community Support — leading governance and discussions of the implications of deploying AI in high-stakes decision-making environments.
• Design and own the CS Risk Appetite Framework — define guardrails, escalation triggers, and pre-approved response actions.
• Own and evolve the CS Risk Registry as a living strategic instrument. Your job is to challenge what gets prioritized, determine whether risk scores reflect reality, identify risks that automated systems miss entirely, and ensure accountability for remediation.
• Develop and stress-test risk assessment standards — including key risk indicators (KRIs), risk typologies, and emerging threat hypotheses.
• Support the evolution of models and processes used in detection triage and investigation.
• Establish ongoing governance cadences — risk review boards, quarterly risk assessments, and challenge sessions where risk assumptions are pressure-tested by diverse stakeholders, not simply ratified.
• Collaborate closely with the Insider Threat Investigations to ensure investigative outcomes are systematically captured, contextualized, and integrated into risk governance.

Process Risk and Compliance Operations Manager

• Lead or participate in market conduct exams, regulatory audits, and partner audits
• Monitor complaints; maintain strong relationships with regulators and key stakeholders
• Interpret and determine the impact of state laws
• Develop and implement action plans to ensure compliance
• Regulatory liaison to resolve complex regulatory issues; lead form, rate, and rule filing projects
• Lead review and development of generic forms; develop state‑specific forms
• Compliance consultant for assigned products and underwriting teams
• Identify trends; evaluate alternatives to maintain compliance while meeting business goals
• Recommend process improvements to increase efficiency and effectiveness
• Provide guidance and coaching; support director and team members

Senior Regulatory Compliance Analyst

• Ensure that Home, Auto, or Commercial Lines products and operational guidelines comply with applicable laws and regulations
• Partner on complex, cross-divisional initiatives to assess compliance impacts of products and operational activities
• Create communications and reporting to improve compliance awareness
• Work with process and product owners to remediate and track compliance fixes
• Collaborate across the organization, including with Legal, Compliance, IT, Partner Management, Operations, and Claims

Senior Business Compliance Specialist

• Own the monitoring and tracking of annual recertification timelines across the portfolio, ensuring no recertifications fall behind schedule.
• Generate and send annual recertification notices to residents in a timely and accurate manner, in coordination with site teams and compliance staff.
• Monitor recertification completion rates and proactively flag outstanding items to Compliance Leadership and site teams.
• Maintain organized recertification tracking logs and ensure all documentation is up to date in property management and compliance systems.
• Identify patterns or systemic issues contributing to recertification delays and escalate with recommended solutions.
• Assist Compliance Specialists with processing and tracking move-in applications and recertification files as workload requires.
• Help collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Provide guidance to site teams on program requirements and documentation needs.
• Assist in preparing move-in and recertification files for investor, state agency, or internal audits.
• Serve as a resource for Compliance Specialists on complex questions, compliance processes, and program requirements.
• Assist Senior Compliance Specialists with file review tasks during periods of high volume or tight deadlines.
• Support preparation of compliance reporting for investors, state agencies, and internal leadership as assigned.
• Contribute to audit preparation activities by ensuring files are organized and audit-ready.
• Help track compliance activity and reporting deadlines, escalating concerns as needed.
• Serve as coverage for the Compliance Specialist role during planned or unplanned absences, including processing and tracking move-in applications and recertifications.
• Serve as coverage for the Senior Compliance Specialist role during absences, including file review, escalation triage, and team support functions.
• Maintain service continuity and compliance standards across both functions during coverage periods.
• Actively pursue skill development in file review, quality control, and compliance mentorship to prepare for advancement into a Senior Compliance Specialist role.
• Participate in training, coaching, and knowledge-sharing opportunities with Senior Compliance Specialists and Compliance Leadership.
• Demonstrate growing proficiency in LIHTC and other affordable housing program requirements.
• Take on additional compliance-related projects and assignments as opportunities arise to broaden expertise.

Compliance Specialist II

• Develop and implement the global trade strategy
• Act as Plexus subject matter expert on international trade regulations
• Provide escalation support to resolve issues
• Support global trade technology implementation
• Draft and update trade-related standard operating procedures

Export Trade Compliance Manager

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• Act as a strategic partner to North America Sales and provide regulatory insights for key customers
• Lead regulatory submission projects (e.g., GRAS, NDI, NHPD)
• Serve as the subject matter expert for U.S. and Canadian regulations
• Provide regulatory guidance to Sales, Business Support, and QA, particularly for strategic accounts
• Monitor regulatory changes and communicate risks and business impacts
• Engage with regulatory authorities, industry groups, and trade associations
• Drive continuous improvement of regulatory processes and ways of working
• Support new product development (NPD) activities relevant to the Americas

Compliance jobs in Wisconsin

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